Douglas Stephen Garban
Investment adviser representative at Spc
13 yearsExperience
1 stateRegistered in
$6.1BFirm assets
42 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
13 years in the industry.
- SpcMar 2018 to now
- Sigma Financial CorporationMar 2018 to now
- Sigma Planning CorporationMar 2018 to now
- Regal Investment AdvisorsFeb 2018 to Mar 2018
- Regulus Advisors LLCFeb 2018 to Mar 2018
- Bank of America, N.A.May 2017 to Jan 2018
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedNov 2016 to Jan 2018
- UmemployedMay 2005 to Nov 2016
Exams passed
- Series 65 · Uniform Investment Adviser Law2016
- Series 63 · Uniform Securities Agent State Law2017
State registrations
Registered as an investment adviser representative in 1 state (PA).
Spc
Legal name: Sigma Planning Corporation
$6.1BAssets managed
30,916Clients
474Advisers
42 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 1655190
- Firm CRD
- 110692